Alan Edward Concha

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2018 → 08/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 08/2017 → 05/2018
  Jimmy Johns
  Newark, DE
• 06/2017 → 08/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 05/2016 → 05/2018
  University Of Delaware
  Lincoln Park, NJ
• 07/2019 → 08/2021
  Bank Of America, N. A.
  New York, NY
• 02/2022 → 04/2023
  Smallwood Wealth Investment Management
  Red Bank, NJ
• 10/2021 → 04/2023
  Smallwood Wealth Management
  Red Bank, NJ
• 04/2023 → 06/2024
  Securities America, Inc
  Franklin Lakes, NJ
• 04/2023 → 06/2024
  Securities America Advisors
  Franklin Lakes, NJ
• 06/2024 → 11/2024
  Osaic Wealth, Inc.
  Franklin Lakes, NJ
• 06/2024 → 11/2024
  Osaic Wealth, Inc.
  Franklin Lakes, NJ
• 11/2024 → Present
  Lpl Financial
  Franklin Lakes, NJ

Previous Registrations

• 2024-06-14 → 2024-11-13
  Osaic Wealth, Inc.
  Franklin Lakes, NJ
• 2023-04-18 → 2024-06-14
  Securities America Advisors, Inc.
  Franklin Lakes, NJ
• 2022-09-09 → 2023-04-06
  Smallwood Wealth Management
  Red Bank, NJ
• 2018-10-15 → 2021-08-06
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  New York, NY

Other Businesses

1) 11/2024 - Prestige Wealth Group / Non-Variable Insurance / Inv. Related / Franklin Lakes, NJ 07417 / Start date 11/11/2024 - 20 hrs per month - 10% Time Spent 2) 11/2024 - Prestige Wealth Group / DBA for LPL Business (entity for LPL business) / Inv. Related / Franklin Lakes, NJ 07417 / Start date 11/11/2024 - 160 hrs per month - 100% Time Spent 3) 12/11/2025 - Aero Flight School - Outside/W-2 Employment - Work Front Desk - Not Investment Related - Lincoln Park, NJ - Start Date 11/24/2025 - 40 hours per month/ 2 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2018-10-12

Designations

• Certified Financial Planner

Other Names

• Alan Concha
• Alan Edward Concha
• Alan Edward Concha
• Alan Concha